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Financial Industry Regulatory Authority

Financial Industry Regulatory Authority (FINRA) was formed on August 6, 2007, to combine the regulatory efforts of the New York Stock Exchange (NYSE) and National Association of Securities Dealers (NASD). FINRA is charged with the responsibility to resolve disputes between public investors, member firms and firm employees. FINRA is subject to oversight by the Securities Exchange Commission (SEC). FINRA establishes rules and regulations for the standards of care required for the handling of customer accounts. These rules and regulations are promulgated by the Code of Conduct which each member firm is required to comply with as a condition of membership. Failure to comply with the FINRA Rules of Conduct can result in sanctions and penalties.